Category Archive for: ‘Regulatory action’

Big Data

Big data and international cooperation – potential impacts for insider dealing actions

Charges for insider dealing are ripe for news headlines – often involving covert arrangements between individuals and driven by greed …

Read More
Match Fixing

Hong Kong’s home-grown football scandal: ICAC brings charges for match-fixing

Another day, another football scandal but this time it’s close to home. On 28 June 2017, Hong Kong’s Independent Commission Against …

Read More
alt

FIFA corruption scandal continues

In April 2015 we considered the FIFA scandal and how the allegations interacted with the obligations on financial institutions in …

Read More
hand painting

Picasso, diamonds and gambling – where are things up to on the 1MDB scandal?

1Malyasia Development Berhad (“1MDB”) has made international headlines again with international celebrities continuing to be embroiled in the scandal. We …

Read More
Buying An SFC Licensed Entity2

Buying an SFC-licensed entity? 5 things you should know

On 2 June 2017, the Securities and Futures Commission (SFC) issued a circular about responsible officers and substantial shareholders (June Circular).  …

Read More
Gaming Floor

Large financial penalties spread to the Antipodes – global trends in AML/CTF enforcement

Multi-million (and billion) dollar fines for AML/CTF breaches are no longer the preserve of United States and United Kingdom. In …

Read More
Pexels Photo 90807

The rise of anti-RegTech?

In this post, we describe a recent example of technology allegedly being used to evade regulations and frustrate regulators – a …

Read More
42 27693494 Copy

Momentum building: SFC AML/CTF action provides practical guidance for securities firms

We are now starting to see signs of momentum building on AML/CTF enforcement cases in Hong Kong.   With it, there …

Read More
Panama 1308874 1920

10 months on, Panama Papers heat up again with senior lawyers arrested

The founders of Mossack Fonesca, the law firm at the centre of the Panama Papers scandal, have been arrested. The …

Read More
Red Chinese Temple Fotolia 3554107 Subscription L Copy

China strengthens action against telecommunications fraud

The past few months have witnessed the rise of a strengthened anti-telecommunication fraud force throughout Mainland China. The efforts are geared …

Read More
Page 1 of 212»